SEC Names Regional Directors for Northeast, Midwest Offices
- Romero Named District Administrator - SEC Fort Worth District Office. // ComplyNet;Feb2006, p14
The article reports on the appointment of Rose Romero as the District Administrator of the U.S. Securities and Exchange Commission's Fort Worth District Office (FWDO). She will oversee both the enforcement and examination programs within the jurisdiction of FWDO. Romero is expected to assume her...
- SEC Sets New Deputy Directors. Ackerman, Andrew // Bond Buyer;6/4/2008, Vol. 364 Issue 32892, p5
The article announces the appointments of Scott Friestad and George Curtis as new deputy directors of the U.S. Securities and Exchange Commission (SEC).
- SEC Names Wyderko Acting Director Of Investment Management Division. Hume, Lynn // Bond Buyer;1/13/2006, Vol. 355 Issue 32298, p5
The article reports on the promotion of Susan Ferris Wyderko to acting director of the investment management division of the U.S. Securities and Exchange Commission. This division handles municipal bond funds and other mutual funds including investment advisers. Wyderko replaces Meyer Eisenberg...
- SEC Promotes Dugan to Boston Enforcement Chief. // Money Management Executive;10/23/2006, Vol. 14 Issue 40, p4
The article reports on the promotion of John T. Dugan from assistant district administrator for enforcement to associate district administrator for enforcement in the Boston district office of the U.S. Securities and Exchange Commission (SEC). Dugan will be succeeding David Bergers who was...
- After Tumultuous Period, Roye Departs SEC. Amend, James // Money Management Executive;2/28/2005, Vol. 13 Issue 8, p1
This article reports that Paul Roye, director of the investment management division at the U.S. Securities and Exchange Commission (SEC), ended nearly a year of speculation on February 18, 2005, by announcing that he will step down as the mutual fund industry's top regulator. According to a SEC...
- Bresnan, Ricciardi Named Deputy Directors of Enforcement. Hume, Lynn // Bond Buyer;10/28/2005, Vol. 354 Issue 32248, p5
Reports on the appointment of Peter H. Bresnan and Walter G. Ricciardi as deputy directors of the U.S. Securities and Exchange Commission's (SEC) enforcement division. Identification of Bresnan as the SEC lawyer who successfully resolved the agency's first litigated yield-burning case in the...
- Carter, Harlan Named to Top SEC Posts. // Bond Buyer;1/9/2002, Vol. 339 Issue 31300, p36
Reports on the appointment of directors of the U.S. Securities and Exchange Commission. Professional background of the directors.
- Touting Expertise, Pitt Says He Has No Intention of Resigning. Hume, Lynn // Bond Buyer;7/22/2002, Vol. 341 Issue 31432, p5
Reports the refusal of the Securities and Exchange Commission chairman Harvey Pitt to resign in the U.S. Expertise in the securities market; Management on the crisis of confidence in the stock market; Implementation of economic reforms.
- Pitt Tells ABA He Plans to Stay at SEC. Ferris, Craig // Bond Buyer;8/13/2002, Vol. 341 Issue 31448, p5
Reports the statement of Securities and Exchange Commission chairman Harvey L. Pitt to remain in the position despite calls for resignation in the U.S. Management of the corporate fraud crisis; Alteration of capital markets; Career history of Pitt.